Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charles? Claim Your ProfileCharles Montgomery is a financial advisor with over 38 years of experience in the financial services industry. He is currently registered with Morgan Stanley and has been with the firm since 2009. Previously, Charles was registered with Citigroup Global Markets Inc., UBS Financial Services Inc., Morgan Keegan & Company, Inc. and Dean Witter Reynolds Inc. Charles has a strong background in securities and has passed the Series 7, Series 63 and SIE exams. He is registered in 27 states and is currently licensed in both Tennessee and Texas. Charles is dedicated to providing comprehensive financial advice to individuals, families, and businesses.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Strategic management for diversified investment portfolios.
Asset allocation advice
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
TN
02/11/2014 - Present
Morgan Stanley (Memphis TN)
TN
11/09/2004 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (JACKSON TN)
NJ
09/23/1994 - 11/26/2004
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
TN
07/25/1989 - 09/30/1994
MORGAN KEEGAN & COMPANY, INC. (MEMPHIS TN)
NY
04/27/1984 - 08/01/1989
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
BC
Issued 03/30/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/17/1984
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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